Investments Audit Work Program

This audit program sample includes steps that can be used to audit an organization’s investments process.

Sample steps include discussing the nature and scope of the audit with key personnel, discussing timing with key management, scheduling timing with the auditee, finalizing the audit program, scheduling staffing as appropriate, creating a summary scorecard for each process reviewed, creating an internal audit report using the standard report template, holding a closing meeting with key company management to review the draft internal audit report and findings, publishing and distributing the final report, and compiling test work and key support data into a work paper binder.